Articles

Results 1 to 5 of 31


The Crypto Winter of Discontent Gets Colder with First of Its Kind Insider Trading Charges

USA - August 9 2022 As market and regulatory uncertainty swirl around cryptocurrencies and other digital assets, the Securities and Exchange Commission (the “SEC”) and…

Kara A. Kuchar, Philip J. Bezanson, Stephanie R. Breslow, Craig S. Warkol, Shannon B. Wolf

Securities Enforcement Quarterly August 2022

USA - August 2 2022 After issuing a flurry of rule-making proposals in the first quarter of 2022, SEC Chair Gensler appeared before Congress to advocate for additional…

Harry S. Davis, Marc E. Elovitz, Taleah E. Jennings, Gayle R. Klein, Douglas I. Koff, Kelly Koscuiszka, Martin L. Perschetz, Betty Santangelo, Howard Schiffman, Gary Stein, Michael E. Swartz, Craig S. Warkol, Peter H. White

Investment Adviser Conflicts Under the SEC's New Enforcement Paradigm

USA - July 18 2022 Under U.S. Securities and Exchange Commission Chair Gary Gensler, the SEC has returned to an aggressive enforcement Posture. Specifically, since 2021…

Douglas I. Koff, Derek N. Lacarrubba, J. Eric Prather

SEC Proposes Rules to Increase SPAC Disclosure Requirements to More Closely Align with Traditional IPO Requirements

USA - May 18 2022 The Securities and Exchange Commission (“SEC”) has proposed new rules and amendments that would enhance disclosure requirements and investor…

Gayle R. Klein, Eleazer Klein, F. Xavier Kowalski, John J. Mahon, Shaina L. Maldonado, David M. Rothenberg

Securities Enforcement Quarterly May 2022

USA - May 3 2022 In 2021, the SEC set forth an ambitious agenda for enforcement and regulation and, as discussed in this edition of Schulte Roth & Zabel's Securities…

Harry S. Davis, Marc E. Elovitz, Angela Garcia, Taleah E. Jennings, Gayle R. Klein, Douglas I. Koff, Kelly Koscuiszka, Benjamin Lewson, Martin L. Perschetz, Betty Santangelo, Howard Schiffman, Gary Stein, Michael E. Swartz, Craig S. Warkol, Peter H. White, Shannon B. Wolf